SEC Form 4 · accession 0001209191-15-066997

Kite Pharma, Inc. · KITE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Margo R Roberts

Officer — Chief Scientific Officer

Period of report

Aug 17, 2015

Accepted (ET)

Aug 19, 2015 · 8:01 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001510580

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock	Aug 17, 2015	M	5,500	$0.70	A	6,499	D
Common Stock	Aug 17, 2015	M	645	$17.00	A	7,144	D
Common Stock^F2	Aug 17, 2015	S	1,556	$60.15	D	5,588	D
Common Stock^F3	Aug 17, 2015	S	3,439	$60.99	D	2,149	D
Common Stock^F4	Aug 17, 2015	S	1,150	$61.65	D	999	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (Right to Buy)^F5	$0.70	Aug 17, 2015	M	5,500	D	—	Oct 7, 2023	Common Stock	5,500	118,625	D
Employee Stock Option (Right to Buy)^F6	$17.00	Aug 17, 2015	M	645	D	—	Jun 18, 2024	Common Stock	645	35,813	D

Explanation of responses

F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 31, 2015.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.50 to $60.46, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.52 to $61.49, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.54 to $61.88, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
F525% of the 150,000 shares subject to the stock option vested and became exercisable on August 19, 2014, and the remaining shares subject to the stock option vest and become exercisable in 36 monthly installments as of the last calendar day of each month following the initial vesting date.
F625% of the 50,000 shares subject to the stock option vested and became exercisable on June 19, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 monthly installments as of the last calendar day of each month following the initial vesting date.